Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 1 of 9COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF2123456789101112131415161718192021222324252627281. This action is brought under the Freedom of Information Act (“FOIA”), 5 U.S.C. §552, as amended, for an order compelling Defendant United States Securities andExchange Commission (“SEC”) to produce, provide access to, and make availablecertain records specified below that were requested by Plaintiff Richard Edelman.2. As specifically alleged below, Plaintiff seeks the following records under FOIA fromthe SEC:A. All documents, records, material of any nature concerning investigation in thematter of Empire State Realty Trust MNY08894. This would include WellsNotices and Wells Submissions in response. This FOIA also requests similardocuments of any other SEC investigation concerning Empire State RealtyTrust; andB. SEC Division of Enforcement Case Closing Report in the matter of EmpireState Realty Trust Inc.JURISDICTION AND VENUE3. This Court has jurisdiction and venue over this action pursuant to 5 U.S.C. §552(a)(4)(B).PARTIES4. Plaintiff is a citizen of the United States and a resident of County of San Diego.5. Defendant is an agency of the United States Government and has possession andcontrol of the records that are the subject of this action.RELEASE OF THE RECORDS SOUGHT TO PLAINTIFF WOULD SERVETHE HIGHEST PUBLIC INTEREST6. Federal regulations describe how Defendant SEC has been entrusted with powers andduties of “great social and economic significance to the American people,” theprevention of abuses that would undermine the integrity of the nation’s economicinstitutions. Section 200.53 of Title 17 of the United States Code of FederalRegulations spells out that trust:///Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 2 of 9COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF312345678910111213141516171819202122232425262728Members of the Securities and Exchange Commission are entrusted byvarious enactments of the Congress with powers and duties of great socialand economic significance to the American people. It is their task to regulatevaried aspects of the American economy, within the limits prescribed byCongress, to insure that our private enterprise system serves the welfare ofall citizens. Their success in this endeavor is a bulwark against possibleabuses and injustice which, if left unchecked, might jeopardize the strengthof our economic institutions.7. The release and disclosure of the information sought by Plaintiff’s FOIA requests asalleged in this complaint would serve the highest public interest because Plaintiffwould utilize the released information to contribute significantly to the public’sunderstanding how Defendant SEC conducts an investigation of the financialstructure that maintains one of United States most historical sites, the Empire StateBuilding. The records should be furnished without any charge in that the informationis in the public interest because it is likely to contribute significantly to the publicunderstanding of the operations or activities of Defendant SEC and is not primarily inthe commercial interest of the requester.FIRST CAUSE OF ACTION8. Plaintiff is informed and believes and thereon alleges that Defendant SEC’s Officeof the General Council (“OGC”) controls and dominates the SEC’s Office of FOIAServices (“FOIA Office”). Plaintiff is further informed and believes and thereonalleges that the FOIA Office follows the dictates of the OGC in relation to requestsseeking records of SEC investigations. Plaintiff is further informed and believes andthereon alleges that the FOIA Office customarily asserts exemptions pursuant to theguidance and instructions of the OGC. The FOIA requester must then appeal theFOIA Office’s decision denying a request to the same OGC. The OGC then rulesupon the assertion of exemptions by the FOIA Office which the OGC directed theFOIA Office to assert. In this way, the OGC can indefinitely delay the release ofCase 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 3 of 9COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF412345678910111213141516171819202122232425262728records sought by FOIA requesters until they become sufficiently frustrated anddiscouraged to abandon the requests. In this case, the OGC has twice ruled upondecisions by the FOIA Office and twice remanded this matter to the FOIA Officewith vague instructions to the FOIA Office to reconsider its prior decision. Saidvague instructions allow if not invite the FOIA Office to engage in further delay andengage in yet another cycle of the endless process of decision, appeal, and remand.Such a policy violates both the spirit and letter of FOIA.9. On February 9, 2015, pursuant to the applicable provisions of FOIA, Plaintiffsubmitted a FOIA request to Defendant SEC’s FOIA Office using its online form.Plaintiff requested access to and copies of specified documents as follows:All documents, records, material of any nature concerning investigation inthe matter of Empire State Realty Trust MNY08894. This would includeWells Notices and Wells Submissions in response. This FOIA also requestssimilar documents of any other SEC investigation concerning Empire StateRealty Trust.A true and correct copy of the email confirming said submission is attached hereto andincorporated by reference as Exhibit 1.10. By letter of February 9, 2015, the SEC’s FOIA office acknowledged receipt ofExhibit 1 and assigned the above request tracking number 15-01819-FOIA. A trueand correct copy of said letter is attached hereto and incorporated by reference asExhibit 2.11.By letter of March 19, 2015, the SEC’s FOIA Office informed Plaintiff three boxesof documents responsive to his request had been identified and requestedconfirmation of Plaintiff’s willingness to pay estimated review and duplicationexpenses. A true and correct copy of said letter is attached hereto and incorporatedby reference as Exhibit 3.///Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 4 of 9COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF51234567891011121314151617181920212223242526272812.On March 19, 2015, Plaintiff sent an email to the FOIA Office in which he agreed topay said estimated review and duplication fees. A true and correct copy of said letteris attached hereto and incorporated by reference as Exhibit 4.13.By May 28, 2015, more than 60 days after Plaintiff had informed the FOIA Officehe was willing to pay said fees, the FOIA Office had not responded or released anyof the requested records. On that date, as provided by 17 CFR § 200.80(d)(6),Plaintiff appealed the SEC’s failure to respond within the time allowed. A true andcorrect copy of said appeal is attached hereto and incorporated by reference asExhibit 5.14. On June 16, 2015, the SEC FOIA Office acknowledged receipt of Plaintiff’s appealand assigned it tracking number 15-00302-APPS. A true and correct copy of saidletter is attached hereto and incorporated by reference as Exhibit 6.15.On June 23, 2015, the OGC remanded Plaintiff’s appeal to the FOIA Office,acknowledging “that the statutory time period has not been met [by the FOIAOffice]” and “requesting that the FOIA Officer process this request as expeditiouslyas possible.” A true and correct copy of said remand is attached hereto andincorporated by reference as Exhibit 7.16.On June 30, 2015, the FOIA Office acknowledged the remand from the OGC andassigned it tracking number 15-00052- REMD. A true and correct copy of said letteris attached hereto and incorporated by reference as Exhibit 8.17.By letter of September 28, 2015, the FOIA Office informed Plaintiff that 1,442pages of records had been identified as responsive to his request. The FOIA Officegranted access to those records except for certain information “protected fromrelease pursuant to 5 U.S.C. § 552(b) (4), (5), (6) and/or (7) (C), 17 CFR § 200.80(b)(4), (5), (6) and/or ii).” A true and correct copy of said letter is attached hereto andincorporated by reference as Exhibit 9.///Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 5 of 9COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF61234567891011121314151617181920212223242526272818.By letter of October 23, 2015, Plaintiff’s counsel appealed the decision of the FOIAOffice. A true and correct copy of said letter is attached hereto and incorporated byreference as Exhibit 10.19. By letter of November 4, 2015, the FOIA Office erroneously acknowledged it hadreceived Plaintiff’s appeal on November 4, 2015 and assigned it tracking number 16-00069-APPS. In fact, as alleged below, Plaintiff’s appeal was received by the OGCand FOIA Office on October 23, 2015, by facsimile. A true and correct copy of saidletter is attached hereto and incorporated by reference as Exhibit 11.20. By email of November 13, 2015, Plaintiff’s counsel informed the FOIA Office itsacknowledgment letter for the October 23, 2015, appeal wrongly listed its receiptdate as of November 4, 2015. A true and correct copy of said letter is attached heretoand incorporated by reference as Exhibit 12. Plaintiff’s counsel has received noanswer regarding this email.21. By letter of December 2, 2015, Associate General Counsel Richard M. Humes,informed Plaintiff’s counsel that he was remanding Plaintiff’s “request to the FOIAOfficer for further consideration of whether to assert Exemptions 4, 5, 6, and 7(C)”and to reconsider whether to classify Plaintiff as “commercial” or “other” requester.A true and correct copy of said letter is attached hereto and incorporated byreference as Exhibit 13.SECOND CAUSE OF ACTION22.On March 11, 2015, pursuant to the applicable provisions of FOIA, Plaintiffsubmitted a FOIA request to Defendant SEC’ FOIA Office using its online form.Plaintiff requested access to and copies of specified documents as follows: “SECDivision of Enforcement Case Closing Report in the matter of Empire State RealtyTrust Inc.” A true and correct copy of the email confirming said submission isattached hereto and incorporated by reference as Exhibit 14.//////Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 6 of 9COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF71234567891011121314151617181920212223242526272823.By letter of March 12, 2015, the FOIA Office acknowledged receipt of Exhibit 14and assigned the above request tracking number 15-02304-FOIA. A true and correctcopy of said letter is attached hereto and incorporated by reference as Exhibit 15.24.By letter of April 1, 2015, the FOIA Office denied Plaintiff’s request citing FOIAExemption (b)(5). A true and correct copy of said letter is attached hereto andincorporated by reference as Exhibit 16.25.On October 7, 2015, Plaintiff appealed the decision of the FOIA Office. A true andcorrect copy of said letter is attached hereto and incorporated by reference as Exhibit17.26.By letter of November 12, 2015, Associate General Counsel Richard M. Humes,denied Plaintiff’s appeal asserting Exemption 5. A true and correct copy of saidletter is attached hereto and incorporated by reference as Exhibit 18.PLAINTIFF’S CLAIM FOR RELIEF: VIOLATIONS OF FOIA27. Plaintiff re-alleges and incorporates by reference all preceding paragraphs.28. Plaintiff is entitled by law to access the records requested under the FOIA.29. Defendant SEC is in violation of the FOIA, 5 U.S.C. § 552, by failing to fully andlawfully comply with Plaintiff’s February 9 and March 3, 2015, requests for records(Exhibits 1 and 14), as specified in paragraphs 9 and 22 above.PRAYER FOR RELIEFWHEREFORE, Plaintiff respectfully requests the Court:A. Declare that Defendant SEC has violated the FOIA by failing to satisfy Plaintiff’sFebruary 9 and March 3, 2015, requests for records as specified in paragraphs 9and 22 above;B. Order Defendant SEC to immediately search for and release all records responsiveto Plaintiff’s February 9 and March 3, 2015, requests for records as specified inparagraphs 9 and 22 above;C. Award Plaintiff his costs and reasonable attorney’s fees and litigation costs in thisaction; andCase 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 7 of 9COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF812345678910111213141516171819202122232425262728D. Grant such other and further relief as the Court may deem just and proper.Respectfully submitted,DATED: December 8, 2015_______________________________Gary J. Aguirre, CA Bar #38927Aguirre Law, A.P.C.501 W Broadway, Ste 800San Diego, CA 92101Telephone: 619-400-4960Facsimile: 619-501-7072Attorney for Plaintiff Richard EdelmanCase 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 8 of 9COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF912345678910111213141516171819202122232425262728Exhibits Table of ContentsExhibit 1…………………………….. 10Exhibit 2…………………………….. 13Exhibit 3…………………………….. 15Exhibit 4…………………………….. 18Exhibit 5…………………………….. 20Exhibit 6…………………………….. 22Exhibit 7…………………………….. 24Exhibit 8…………………………….. 26Exhibit 9…………………………….. 28Exhibit 10…………………………… 31Exhibit 11…………………………… 47Exhibit 12…………………………… 49Exhibit 13…………………………… 51Exhibit 14…………………………… 54Exhibit 15…………………………… 56Exhibit 16…………………………… 58Exhibit 17…………………………… 61Exhibit 18…………………………… 64Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 9 of 9JS4-I (Rev 12/12) CIVIL COVER SHEETThe JS 44 civil cover sheet and the information contained herein neither replace nor supplement the filing and service ofpleadings orother papers as required by law. except asprovided bylocal rules of court. This form, approved bytheJudicial Conference of theUnited States inSeptember 1974, isrequired fortheuseof theClerk ofCourt forthepurpose of initiating the civil docket sheet (SI-:/-: INSTRUt TIONS ONNI-:\T PACE OFTHIS FORM.)I. (a) PLAINTIFFSEdelman, Richard(b) County ofResidence of First Listed Plaintiff San DiegoDEFENDANTSU.S. Securities and Exchange CommissionCounty ofResidence of First Listed Defendant Washington, D.C.(IN U.S. PLAINTIFFCASESONLY)NOTF.: IN LAND CONDEMNATION CASES. USE THE LOCATION OFTHE TRACT OF LAND INVOLVED.Attorneys (IfKnown)(EXCEPT1N U.S. PLAINTIFFCASES)(c) Attorneys (Finn Name, Address, and Telephone Number)Gary J. AguirreAguirre Law, APC501 W. Broadway, Ste. 800; San Diego, CA 92101II. BASIS OF JURISDICTION (Place,,,, -.Vm One BoxOnly)3 1 U.S. Government O 3 Federal QuestionPlaintiff (U.S. GovernmentNot a Parly)%2 U.S.Government 3 4 DiversityDefendant (Indicate ('Ilizenshlp of Partiesin Item III)III. CITIZENSHIP OF PRINCIPAL PARTIES (Placean "X"tn One Boxfor Plaintiff(For Diversity('ases Only) and One Pox for Defendant)PTF DEF PTF DEFCitizenof This State 3 1 G 1 Incorporated or Principal Place 3 4 3 1of [Justness In This StateCitizen of AnotherState Q 2 3 2 Incorporated andPrincipal Place 3 5 3 5of Business In Another StateCitizen or Subject of a O 3 3 3 Foreign Nation "16 "IdForeign CountryIV. NATURE OF SUIT (Place an"A"inOne Box Only)1 CONTRACT TORTS FORFEITURE/PENALTY IJANKRUPTC Y OTHER STATUTES3 110 Insurance PERSONAL INJURY PERSONAL INJURY 3 625 Drug Related Seizure 3 422 Appeal 28 USC 158 "I 375 False Claims Act3 120 Marine 3 310 Airplane 3 365 Personal Injury - ofProperty 21 USC881 • 423 Withdrawal "I 400 StateReapportionment D 130 Miller Act 3 315 Airplane Product Product Liability 3 690 Other 28 USC 157 n 410 Antitrust3 140 Negotiable Instrument Liability3 320 Assault, Libel &Slander3 367 Health Care/PharmaceuticalPersonal Injuiyoa3430 Banks and Banking 3 150 Recovery of Overpayment PROPERTY RIGHTS 450 Commerce& Enforcement of Judgment 3 820 Copyrights 460 Deportation DI5I Medicare Act 3 330 Federal Employers" Product Liability 3 830 Patent 3 470 Racketeer Influenced and3 152 Recovery of Defaulted Liability 3 368 Asbestos Personal 3 840 Trademark Corrupt Organizations Student Loans 3 340 Marine3 345 Marine ProductLiabilityInjuiy ProductLiabilityPERSONAL PROPERLY3aa480 Consumer Credit(Excludes Vcterans) LABOR SOCIAL SECURITY 490 Cable/Sat TV3 153Recoveryof Overpayment PI 710 Fair Labor Standards 3 861 HIA(I395ff) 850 Securities/Commodities'ol Veteran's Benefits 3 350 Motor Vehicle 3 370 Other Fraud Act 3 862 Black Lung (923) Exchange 3 160 Stockholders" Suits 3 355 Motor Vehicle 3 371 Truth in Lending D 720 Labor/Management 3 863 D1WC/DIWYV (405(g)) 3 890 Other Statutory Actions 3 190 Other Contract Product Liability n 380 Other Personal Relations 3 864 SSID Title XVI • 891 Agricultural Acts3 195 Contract Product Liability 3 360 Other Personal Property Damage 3 740 Railway Labor Act 3 865 RSI (405(g)) O 893 Environmental MatteisD 196 Franchise Injury 3 385 Property Damage n 751 Family and Medical X 895 Freedom of Information3 362 Personal Injuiy - Product Liability Leave Act ActMedical Malpractice 3 790 Other Labor Litigation3 791 Employee RetirementIncome Security Acta 896 Arbitrationj REAL PROPERTY CIVIL RIGHTS PRISONER PETITIONS FEDERAL TAX SUITS 899 Administrative Procedure3 210 Land Condemnation 0 440 Other Civil Rights Habeas Corpus: 3 870 Taxes (U.S. Plaintilf Act/Review or Appeal of3 220 Foreclosure 3 441 Voting • 463 Alien Detainee or Defendant) Agency DecisionD 230 Rent Lease & Ejectment 3 442 Employment G 510 Motions to Vacate 3 871 IRS—Third Partv n 950Constitutionality of 3 240 Torts to Land D 443 Housing/ Sentence 26 USC 7609 State StatutesO 245 Tort Product Liability Accommodations• 445 Amer. w/Disabilities -EmploymentO 530 General3 535 Death PenaltyOther:3 290 All Other Real Property IMMIGRATION• 462 NaturalizationApplication3 446 Amer. w/Disabilities - • 540 Mandamus & Other 3 465 Oilier ImmigrationOther 3 550 Civil Rights Actions3 448 Education • 555 Prison Condition3 560 Civil Detainee -Conditions ofConfinementV. ORIGIN (Place an "X" mOne Box Only)23 1 Original • 2 Removed from • 3 Remanded from O 4 Reinstated or G 5 Transferred from D 6 MultidistrictProceeding State Court Appellate Court Reopened Another District Litigation(specify)VI. CAUSE OF ACTIONCite the U.S. Civil Statute under which vou are filing (Donotcitejurisdictionalstatutes unlessdiversity!5 U.S.C. § 552Brief description of cause:Declaratory and injunctive relief against agency for FOIA violations.VII. REQUESTED IN O CHECK IFTHIS IS A CLASSACTION DEMANDSCOMPLAINT: UNDER RULE 23, F.R.O.P.CHECK YES only if demanded in complaint:JURY DEMAND: • Yes O NoVIII. RELATED CASE(S) IF ANY (See instructions): JUDGE DOCKET NUMBERDATE12/08/2015FOR OFFICE USE ONLYRECEIPT « AMOUNTKjT^TURTJOF ATTORNEY OFRECORDAPPLYING IF! JUDGE MAG JUDGE'15CV2750 BEN BGSCase 3:15-cv-02750-BEN-BGS Document 1-1 Filed 12/08/15 Page 1 of 1Exhibit 1Case 3:15-cv-02750-BEN-BGS Document 1-2 Filed 12/08/15 Page 1 of 39/14/2015 Outlook.com Print Messagehttps://col131.mail.live.com/ol/mail.mvc/PrintMessages?mkt=en­us 1/2Print CloseFOIA 2/9/15From: richard (richardedelman@hotmail.com)Sent: Mon 2/09/15 10:15 AMTo: empirestatebuildinginvestors@gmail.com (empirestatebuildinginvestors@gmail.com); richard(richardedelman@hotmail.com)Thank you for taking the time to submit your request.Your request was received on February 9, 2015. If you need to change or cancel yourrequest, please email us at foiapa@sec.gov. DO NOT RESPOND TO THIS NOTICE!Your request will be assigned to one of our specialists who will respond to you within 20 days.Please note that all companies, foreign and domestic, are required to file registrationstatements, periodic reports and other filings electronically through EDGAR. Anyone can accessand download this information for free by accessing www.sec.gov SEC Filings and Forms(EDGAR) or Company Search.Further, the Commission is not a research service. Please use a securities industry researchservice for voluminous or commercial requests.Please save this page for your records.Request received from:Richard Edelman608 N.Rios AveSolana Beach, California 92075United States8589229680empirestatebuildinginvestors@gmail.comEmpirestatebuildinginvestors.comRequest:COMP_NAME: Empire State Realty Trust Inc.DOC_DATE: 01/01/12­02/09/15TYPE: InvestigationsCOMMENTS: I request all documents, records, material of any nature concerning investigation inthe matter of Empire State Realty Trust MNY­08894. This would include Wells Notices and WellsSubmissions in response. This FOIA also requests similar documents of any other SECinvestigation concerning Empire State State Realty Trust.FEE_AUTHORIZED: Willing to Pay $28FEE_WAIVER_REQUESTED: NoEXPEDITED_SERVICE_REQUESTED: NoCase 3:15-cv-02750-BEN-BGS Document 1-2 Filed 12/08/15 Page 2 of 39/14/2015 Outlook.com Print Messagehttps://col131.mail.live.com/ol/mail.mvc/PrintMessages?mkt=en­us 2/2https://tts.sec.gov/cgi­bin/request_public_docsCase 3:15-cv-02750-BEN-BGS Document 1-2 Filed 12/08/15 Page 3 of 3Exhibit 10Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 1 of 16FAX COVER SHEETTO FOIAOfficeCOMPANY US Securities and ExchangeCommissionFAXNUMBER 12027729337FROM Maria PomaresDATE 2015-10-2315:13:51 GMTRE FREEDOM OF INFORMATION ACT APPEALCOVER MESSAGEDear Madam or sir:Pleasefind attached Mr. Edelman's appeal of decisions in relation to FOIA Request No.15-01819-FOIA (15-00302-APPS, and 15-00052-REMD)Sincerely,Gary AguirreWWW.EFAX.COMCase 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 2 of 16AGUIRRE LAW, APC501 W BROADWAY, SUITE 800 • SAN DIEGO CA 92101 • PHONE: 619-400-4960 • GARY@AGUIRRELAWAPC.COMFREEDOM OF INFORMATION ACT APPEALBy Facsimile to 202-772-9337 and First Class MailOctober 23, 2015Office of the General CounselSecurities and Exchange Commission100 F Street N.E.Mail Stop 9612Washington, D.C. 20549Securities and Exchange CommissionOffice of FOIA ServicesATTN: FOIA Appeals100 F Street N.E., Mail Stop 2465Washington, DC 20549Re: Appeal of Decision in Relation to FOIA Request No. 15-01819-FOIA(15-00302-APPS, and 15-00052-REMD)Dear Madam or Sir:By this letter, as attorney for Richard Edelman, I serve notice that Mr. Edelman isappealing all adverse decisions of the FOIA Office as stated in its letter of September 28, 2015, acopy of which is attached hereto as Attachment 1 and incorporated herein by reference, inrelation to FOIA Request No. 15-01819-FOIA, a copy of which is attached hereto as Attachment2 and incorporated herein by reference.Mr. Edelman is also appealing all adverse decisions of the FOIA Office as stated in itsletter of March 19, 2015, a copy of which is attached hereto as Attachment 3 and incorporatedherein by reference, including the decision that Mr. Edelman is a “’commercial’ requester.”Sincerely,Gary J. AguirreEnclosuresCase 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 3 of 16Attachment 1Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 4 of 16UNITED STATESSECURITIES AND EXCHANGE COMMISSIONSTATION PLACE100 F STREET. NEWASHINGTON. DC 20549·2465Office of FOIA ServicesSeptember 28 , 2015Mr . Richard EdelmanEmpire State Building Associates LLC608 N. Rios AvenueSolana Beach , CA 92075Re : Freedom of Information Act (FOIA) , 5 U. S . C. § 552Request Nos. 15 - 01819 - FOIA , 15 - 00302 - APPS , and15- 00052-REMDDear Mr . Edelman:Th i s letter responds t o your request , dated and received inthis office on february 9 , 2015 , for all documents, records,material of any nature concerning investigation in the matter ofEmpire State Realty Trust MNY-08894 , including wells notices andwells submissions, from January 1 , 2012 to February 9 , 2015.Reference is also made to your June 1 , 2015 appeal to theSEC ' s Office of the General Counse l (15 - 00302 - APPS) , and t heremand of your request to this office dated June 23 , 2015 (15 -00052 - REMD) .We have identified the enclosed 1 , 442 pages of records asbeing responsive to your request. Access is granted to theserecords, except for certain information that is protected fromrelease pursuant to 5 U. S.C. § 552(b) (4) , (5) , (6) and/or(7) (C) , 17 CfR § 200 . 80(b) (4) , (5) , (6) and/or ,- '- U) , for thefollowing reasons:• Exemption 4 protects confidential commercial or financialinformation , the release of which could cause substantialcompetitive harm to the submitter .• Exemption 5 protects records that were prepared inanticipation of litigation, form an integral part of theSEC ' s pre- decisional process, and/or contain advice givento the Commission or senior staff by the Commission ' sattorneys . Such records are protected from release bythe attorney work- product , deliberative process and/orattorney-client privileges embodied in Exemption 5 .Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 5 of 16Mr. Richard EdelmanSeptember 28 , 2015Page 215-01819- E'OIA ,15-00302-APPS , and15 - 00052 - REMD• Exemption 6 protects records that would constitute aclearly unwarranted invasion of personal privacy ifreleased .• Exemption 7(C) protects records o r information compiledfor law enforcement purposes , the release of which couldreasonably be expected to constitute an unwa rrantedinvasion of personal privacy.I am the deciding official with regard to this adversedetermination . You have the right to appeal my decision within 90calendar days from the date of this letter to our General Counselunder 5 U.S . C. § 552( a)(6) , 17 CFR § 200 . 80(d) (5) and (6) . Yourappeal must be in writing , clearly marked "Freedom of InformationAct Appeal , " and should i dent ify the requested records . Theappeal may include facts and authorities you consider appropriate .You may file your appeal by completing the online Appeal formlocated at https : //www . sec . gov/f orms/reque s t appeal , or mail yourappeal to the Office of FOIA Services of the Securities andExcha nge Commission located at Station Place , 100 F Street NE,Mail Stop 2465 , Washington , D. C. 20549 , or deliver it to Room 1120at that address . Also , send a copy to the SEC Office o f theGeneral Counsel , Mail Stop 9612 , o r deliver it to Room 1120 at theStation Place address .I f you have any questions, please contact Jason Luetkenhausof my staff at luetkenhausj@sec . g ov or (202) 551 - 8352. You mayalso c ontac t me at fo i a pa@sec . gov or (202) 551 - 7900.Enclo suresSincerely,Ray J. McInerneyFOIA Branch ChiefCase 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 6 of 16Attachment 2Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 7 of 169/14/2015 Outlook.com Print Messagehttps://col131.mail.live.com/ol/mail.mvc/PrintMessages?mkt=en­us 1/2Print CloseFOIA 2/9/15From: richard (richardedelman@hotmail.com)Sent: Mon 2/09/15 10:15 AMTo: empirestatebuildinginvestors@gmail.com (empirestatebuildinginvestors@gmail.com); richard(richardedelman@hotmail.com)Thank you for taking the time to submit your request.Your request was received on February 9, 2015. If you need to change or cancel yourrequest, please email us at foiapa@sec.gov. DO NOT RESPOND TO THIS NOTICE!Your request will be assigned to one of our specialists who will respond to you within 20 days.Please note that all companies, foreign and domestic, are required to file registrationstatements, periodic reports and other filings electronically through EDGAR. Anyone can accessand download this information for free by accessing www.sec.gov SEC Filings and Forms(EDGAR) or Company Search.Further, the Commission is not a research service. Please use a securities industry researchservice for voluminous or commercial requests.Please save this page for your records.Request received from:Richard Edelman608 N.Rios AveSolana Beach, California 92075United States8589229680empirestatebuildinginvestors@gmail.comEmpirestatebuildinginvestors.comRequest:COMP_NAME: Empire State Realty Trust Inc.DOC_DATE: 01/01/12­02/09/15TYPE: InvestigationsCOMMENTS: I request all documents, records, material of any nature concerning investigation inthe matter of Empire State Realty Trust MNY­08894. This would include Wells Notices and WellsSubmissions in response. This FOIA also requests similar documents of any other SECinvestigation concerning Empire State State Realty Trust.FEE_AUTHORIZED: Willing to Pay $28FEE_WAIVER_REQUESTED: NoEXPEDITED_SERVICE_REQUESTED: NoCase 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 8 of 169/14/2015 Outlook.com Print Messagehttps://col131.mail.live.com/ol/mail.mvc/PrintMessages?mkt=en­us 2/2https://tts.sec.gov/cgi­bin/request_public_docsCase 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 9 of 16Attachment 3Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 10 of 16UNITED STATESSECURITIES AND EXCHANGE COMMISSIONSTATION PLACE100 F STREET, NEWASHINGTON, DC 20549-2465Office of FOIA ServicesMarch 19, 2015Mr. Richard EdelmanEmpire State Building Associates LLC608 N. Rios AveSolana Beach, CA 92075RE: Freedom of Information Act (FOIA), 5 U.S.C. § 552 Request No. 15-01819-FOIADear Mr. Edelman:This letter is in reference to your request, dated andreceived in this office on February 9, 2015, for all documents,records, material of any nature, including Wells Notices and WellsSubmissions, concerning the investigation in the matter of EmpireState Realty Trust MNY-08894. You are also seeking similardocuments of any other SEC investigation concerning Empire StateRealty Trust.We have identified 3 boxes of records that are responsive toyour request. Under the FOIA, you are considered a “Commercial”requester. As such, you are required to pay all search and reviewfees beyond the first one-half hour, in accordance with our feeschedule.1 We typically estimate that it will take approximately4 hours to review the contents of 1 box of records (approximately3,000 pages per box) for releasability under the FOIA. However,it could take up to 8 hours per box depending on the subjectmatter. Therefore, our preliminary estimate at this point isanywhere from 12 to 24 hours of review time, which equates to acost between $336.00 and $672.00. Additionally, you will also beresponsible for the cost of copying all releasable records at arate of $0.24 per page. 1 All search and review time beyond the first one-half hour that is free ofcharge to you is charged at a rate of $28.00 per hour. Note, you will becharged fees even if the data located is subsequently determined to be exemptunder the FOIA.Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 11 of 16Mr. Richard Edelman 15-01819-FOIAMarch 19, 2015Page 2However, you have only authorized up to $28.00 in FOIAprocessing fees. If you would like for us to review the 3 boxesof records we located for possible release under the FOIA,please write or call me by March 30, 2015 and confirm yourcommitment to pay the estimated processing fees. If we do nothear from you by that date we will assume that you are no longerinterested in pursuing this request, and we will close our fileon it without further notice to you.

If you have any questions, please contact me atluetkenhausj@sec.gov or (202) 551-8352. You may also contact meat foiapa@sec.gov or (202) 551-7900.Sincerely, Jason LuetkenhausFOIA Lead Research SpecialistCase 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 12 of 16Attachment 3Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 13 of 16UNITED STATESSECURITIES AND EXCHANGE COMMISSIONSTATION PLACE100 F STREET, NEWASHINGTON, DC 20549-2465Office of FOIA ServicesMarch 19, 2015Mr. Richard EdelmanEmpire State Building Associates LLC608 N. Rios AveSolana Beach, CA 92075RE: Freedom of Information Act (FOIA), 5 U.S.C. § 552 Request No. 15-01819-FOIADear Mr. Edelman:This letter is in reference to your request, dated andreceived in this office on February 9, 2015, for all documents,records, material of any nature, including Wells Notices and WellsSubmissions, concerning the investigation in the matter of EmpireState Realty Trust MNY-08894. You are also seeking similardocuments of any other SEC investigation concerning Empire StateRealty Trust.We have identified 3 boxes of records that are responsive toyour request. Under the FOIA, you are considered a “Commercial”requester. As such, you are required to pay all search and reviewfees beyond the first one-half hour, in accordance with our feeschedule.1 We typically estimate that it will take approximately4 hours to review the contents of 1 box of records (approximately3,000 pages per box) for releasability under the FOIA. However,it could take up to 8 hours per box depending on the subjectmatter. Therefore, our preliminary estimate at this point isanywhere from 12 to 24 hours of review time, which equates to acost between $336.00 and $672.00. Additionally, you will also beresponsible for the cost of copying all releasable records at arate of $0.24 per page. 1 All search and review time beyond the first one-half hour that is free ofcharge to you is charged at a rate of $28.00 per hour. Note, you will becharged fees even if the data located is subsequently determined to be exemptunder the FOIA.Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 14 of 16Mr. Richard Edelman 15-01819-FOIAMarch 19, 2015Page 2However, you have only authorized up to $28.00 in FOIAprocessing fees. If you would like for us to review the 3 boxesof records we located for possible release under the FOIA,please write or call me by March 30, 2015 and confirm yourcommitment to pay the estimated processing fees. If we do nothear from you by that date we will assume that you are no longerinterested in pursuing this request, and we will close our fileon it without further notice to you.